Senior Stock Plan Services Associate

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them.

Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.

The Senior Stock Plan Services Associate performs advanced operational support activities for Stock Plan Services and serves as a subject matter expert (SME) in equity compensation operations, brokerage processes, and stock plan transaction workflows. This role independently processes complex transactions, resolves escalated operational issues, provides technical guidance to teammates and internal business partners, and supports operational excellence through continuous improvement and a strong control environment.

The Senior Stock Plan Services Associate partners with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, and client-facing teams to support accurate execution of stock plan activities, regulatory compliance, and a high-quality participant experience.

What You Will Do

• Serve as a subject matter expert across Stock Plan Services operations, equity compensation processes, brokerage operations, and securities transaction workflows.

• Perform Principal Review and acceptance of new account applications in accordance with applicable policies, procedures, and regulatory requirements.

• Process and review complex stock plan transactions, reconciliations, operational exceptions, and participant account activity.

• Prioritize workload across operational functions to meet established service-level commitments.

• Provide technical guidance to associates and internal business partners on complex stock plan processes and escalated operational issues.

• Research, resolve, review, and approve complex operational exceptions within established policies, procedures, and authority levels.

• Support operational processing for equity compensation programs, including restricted stock units (RSUs), stock options, employee stock purchase plans (ESPPs), Rule 10b5-1 trading programs, and related stock plan events.

• Evaluate and recommend workflow efficiencies, operational improvements, control enhancements, and risk-mitigation opportunities.

• Support team leadership through transaction reviews, audits, reporting, quality initiatives, and operational-readiness activities.

• Implement applicable regulatory and procedural changes within operational processes while maintaining appropriate controls.

• Partner with Operations, Supervision, Compliance, Trade Desk, Payroll, Legal, Technology, and client-facing teams to resolve operational issues and support business initiatives.

• Mentor associates by sharing technical knowledge, supporting training efforts, and promoting operational best practices.

• Perform other duties as assigned.

What You Will Bring

• Bachelor's degree in Business, Finance, or a related field; in lieu of a degree, four additional years of financial services experience.

• Minimum of four years of financial services experience

• FINRA Series 7 registration required.

• FINRA Series 24 registrations required within corporate established timelines. Fully licensed candidates are preferred.

• FINRA Fingerprinting required.

• Advanced knowledge of stock plan administration, brokerage operations, equity compensation programs, and securities transaction processing.

• Experience supporting operational controls, audits, compliance activities, and risk management.

• Strong analytical, organizational, communication, and problem-solving skills, with the ability to influence without direct authority.

What Will Set You Apart

• Experience supporting stock plan services, brokerage operations, equity compensation programs, or securities operations.

• Experience with Pershing NetX360.

• Certified Equity Professional (CEP) designation.

• Direct operational experience supporting RSUs, stock options, ESPPs, and Rule 10b5-1 trading programs.

• Experience resolving complex or escalated securities transaction and participant-account issues.

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